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FIRST TRUST
FIRST TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 15 Institutional holders with a total value of $4,814,049.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 37,081 999,000 20.75%
2 ROYAL BANK OF CANADA 30,502 822,000 17.08%
3 DEUTSCHE BANK AG\ 28,859 777,000 16.14%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 25,204 679,000 14.10%
5 BANK OF AMERICA CORP /DE/ 19,049 513,000 10.66%
6 Cambridge Investment Research Advisors, Inc. 16,200 436,000 9.06%
7 MORGAN STANLEY 10,158 273,000 5.67%
8 UBS Group AG 3,040 82,000 1.70%
9 WELLS FARGO & COMPANY/MN 2,500 68,000 1.41%
10 MSI Financial Services Inc 1,725 46,000 0.96%
11 NEXT Financial Group, Inc 1,500 40,000 0.83%
12 D.A. DAVIDSON & CO. 1,225 32,000 0.66%
13 WFG Advisors, LP 1,100 30,000 0.62%
14 AMERICAN INTERNATIONAL GROUP, INC. 633 17,049 0.35%
15 Parallax Volatility Advisers, L.P. 1 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.